Solution introduction
Compliant Digital Disclosure Delivery & Storage
Simplify complex client disclosure requirements with automated delivery of Form CRS (Reg BI), Form ADV, and DOL Rule disclosures
Compliance TRACKR saves financial advisors time, money and effort while keeping them in compliance with burdensome disclosure requirements. The Compliance TRACKR from Docupace delivers end-to-end processing, tracking, storage and audit functionality to meet all current disclosure requirements with a “digital first” mindset.
- Fully digitize Reg BI (Form CRS), Form ADV and DOL Rule disclosure experience through automated workflows and CRM integration
- Store records in a FINRA/SEC compliant (17a-3 and 17a-4) and hyper-secure digital vault
- Audit trail and real-time reporting capabilities on demand
- Proprietary “digital first, analog second” client attestation process ensures time stamped delivery of disclosures
